Chief Compliance Officer

Let’s be #BrilliantTogetherThe Chief Compliance Officer (CCO) is responsible for overseeing and administering the Compliance Program of Institutional Shareholder Services Inc. (“ISS”) and its foreign affiliates. The CCO acts as the designated compliance officer for ISS, a U.S.-registered investment adviser (RIA) under the Investment Advisers Act of 1940 (Advisers Act). The CCO is accountable for ensuring the firm’s ongoing adherence to applicable requirements under the Advisers Act and other U.S. laws and rules that apply to its business.The role provides strategic and operational leadership to maintain a robust, risk-based compliance framework, promote a strong culture of integrity, and support business activities within a well-controlled regulatory environment, consistent with ISS STOXX group standards.The CCO reports to the Global Chief Compliance Officer of ISS STOXX, as well as to the General Counsel of ISS.Key ResponsibilitiesCompliance Framework & GovernanceOwn, design, and continuously enhance the ISS Compliance Program in line with SEC and other applicable regulatory requirements and ISS STOXX group standardsMaintain and evolve the firm’s Code of Ethics, Compliance Manual, and related policies and procedures, including testing the sufficiency and effectiveness of the Compliance Program in accordance with Advisers Act Rule 206(4)-7Design and implement policies and procedures related to other U.S. laws and rules, as applicable (e.g., ERISA and Treasury Department (FINCEN) requirements)Lead and develop a team of compliance professionals, ensuring appropriate expertise, prioritization, and deliveryOperate with appropriate independence, authority, and access to senior management consistent with regulatory expectationsRegulatory Monitoring & Risk ManagementMonitor, assess, and communicate regulatory developments relevant to investment advisers and ISS business activitiesLead the identification, assessment, and mitigation of compliance risks across ISS’s RIA operationsMaintain a risk-based compliance monitoring and testing program aligned with the firm’s risk profileCompliance Oversight & ControlsOversee execution of compliance controls, surveillance activities, and thematic reviewsLead internal reviews, investigations, and incident management, including complaints and escalation processesEnsure robust recordkeeping and documentation in accordance with SEC and other applicable requirementsRegulatory Interaction & FilingsAct as the primary point of contact for the SEC and manage examinations, inspections, and regulatory engagementOversee the preparation and submission of regulatory filings, including Form ADV and related disclosuresCoordinate internal and external audits related to complianceAdvisory & Business PartnershipProvide clear, pragmatic, and risk-based compliance advice to senior management and business functionsSupport client-facing activities, including due diligence requests, questionnaires, and RFPsEnable business growth by ensuring regulatory requirements are addressed in a commercially practical mannerReporting & TrainingReport regularly to senior management and relevant governance bodies on compliance matters, risks, and program effectivenessDevelop and deliver compliance training to promote awareness and adherence to regulatory obligationsFoster a culture of integrity and accountability across ISSRequirements / QualificationsExperience & ExpertiseExtensive experience (typically 10–15+ years) in compliance, legal, or regulatory roles within the financial services sector, with a significant portion in an SEC-registered investment adviser or comparable environmentProven track record serving as CCO or in a senior compliance leadership role with direct responsibility for an RIA compliance programDeep knowledge of the Advisers Act and related SEC rules, including practical experience managing SEC examinations and regulatory engagementLeadership & GovernanceDemonstrated ability to lead, scale, and develop high-performing compliance teams in an international environmentExperience interacting with senior management, boards, and regulators, with the ability to provide clear and credible challengeAbility to balance independence and oversight with a pragmatic, business-oriented approachTechnical & Professional SkillsStrong expertise in designing and operating risk-based compliance programs, including monitoring, testing, and controlsFamiliarity with COSO Three Lines of Defense ModelExcellent analytical and judgment skills, with the ability to identify emerging risks and translate regulatory requirements into practical solutionsHigh level of attention to detail combined with the ability to operate strategicallyPersonal AttributesHigh integrity and strong commitment to ethical standards and professional conductExcellent communication and stakeholder management skills across all levels of the organizationAbility to operate effectively in a global, matrixed organization and manage competing prioritiesEducation & CredentialsAt least bachelor’s degree in law, Finance, Business, or a related fieldRelevant professional certifications (e.g., CFA, CPA, or equivalent compliance certifications) preferredBase salary: The Rockville, Maryland expected base pay range is $170,000 - $200,000 per year. Exact compensation may vary based on skills, experience, and level of education. The role is bonus eligible.#DIRECTOR #LEGALWhat You Can Expect From UsAt ISS STOXX, our people are our driving force. We are committed to building a culture that values diverse skills, perspectives, and experiences. We hire the best talent in our industry and empower them with the resources, support, and opportunities to grow—professionally and personally.Together, we foster an environment that fuels creativity, drives innovation, and shapes our future success.Let’s empower, collaborate, and inspire.Let’s be #BrilliantTogether.About ISS STOXXISS STOXX GmbH is a leading provider of research and technology solutions for the financial market. Established in 1985, we offer top-notch benchmark and custom indices globally, helping clients identify investment opportunities and manage portfolio risks. Our services cover corporate governance, sustainability, cyber risk, and fund intelligence. Majority-owned by Deutsche Börse Group, ISS STOXX has over 3,400 professionals in 33 locations worldwide, serving around 6,400 clients, including institutional investors and companies focused on ESG, cyber, and governance risk. Clients trust our expertise to make informed decisions for their stakeholders' benefit.Visit our website: https://www.issgovernance.comView additional open roles: https://www.issgovernance.com/join-the-iss-team/We Are Proud To Offer The Following Featured BenefitsMedical, Dental, and Vision coverage401(k) with a company match up to 9%, including a Safe Harbor contributionFlexible Spending Account (FSA) and commuter benefit programsGenerous paid time offVolunteer DayPaid parental leaveHybrid working optionsInstitutional Shareholder Services Inc. (ISS) is an equal employment opportunity employer and does not discriminate against any employee or applicant because of race, color, ethnicity, creed, religion, sex, age, height, weight, citizenship status, national origin, social origin, sexual orientation, gender identity or gender expression, pregnancy status, marital status, familial status, mental or physical disability, veteran status, military service or status, genetic information, or any other characteristic protected by law (referred to as “protected status”). All activities including, but not limited to, recruiting and hiring, recruitment advertising, promotions, performance appraisals, training, job assignments, compensation, demotions, transfers, terminations (including layoffs), benefits, and other terms, conditions, and privileges of employment, are and will be administered on a non-discriminatory basis, consistent with all applicable federal, state, and local requirements. For more information, please view https://www.dol.gov/agencies/ofccp/posters.ISS is committed to complying fully with the Americans with Disabilities Act (ADA) and other applicable federal, state, and local laws. ISS is also committed to ensuring equal opportunity in employment for qualified person with disabilities. ISS prohibits discrimination against applicants and employees on the basis of disability as it pertains to the job application and hiring process and other terms and conditions of employment. If you are an individual with a disability and would like to request a reasonable accommodation as part of the employment selection process, please contact ISS_Careers_Accommodations@issgovernance.com. This email is created exclusively to assist disabled job seekers where disability prevents them from being able to apply online. Only messages left for this purpose will be returned. Messages sent for other purposes, such as following up on an application or other technical issues not related to a disability, will not receive a response.